Retail Affiliations

Fees & Compensation

Producer Level
Quarterly fee: $2,000*

Aggregated, Production Based Payout Levels:

$0 — $120,000 80%
$120,001 — $250,000 85%
$250,001 — $500,000 90%
$500,001 — $1,000,000 91%
$1,000,001 — $1,500,000 92%
$1,500,001 — $2,000,000 93%
$2,000,001 + 94%

  • Work with any annuity or life insurance IMO/FMO/BGA
  • A dedicated business transition team

Subscription Level
Quarterly Fee: $1,125*
Standard Broker-Dealer & RIA Payout: 50%

Administrative Level
Annual Fee: $1,025*
Non-Producing

Our compliance, firm element requirements for reps are met via webinar offered several times throughout the year. Periodically, Simplicity Investments may hold registered rep events as optional networking and business development opportunities where we encourage participation.

*Does not include: Onboarding fee ($440), annual state fees (vary by state), U4 disclosure review fee ($440) if applicable, and CE inactive fee ($55) if applicable.

*Includes: E&O insurance and technology platform. Contact us for more information: 303-797-9080 x1650

Benefits

  • No OSJ responsibilities
  • Business friendly compliance
  • Maintain ownership of your clients
  • Build your own brand
  • Technology platform included

Note: Outside RIA friendly (compliance oversight required)

General Requirements

  • Existing FINRA registration and experience
  • Clean regulatory registered representative record
  • Attendance at the annual business development meeting
  • Must complete all pending regulatory continuing education within 15 days of registration

Simplicity Investments Areas of Expertise